Request for RecorCis Disposition Authority

Transcription

1 ' t',.-"-o~ I~- ' ~J) NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Records Schedule DAA Request for RecorCis Disposition Authority Records Schedule Number Schedule Status DAA Approved Agency or Establishment Record Group I Scheduling Group Records Schedule applies to Major Subdivision Schedule Subject Internal agency concurrences will be provided Centers for Medicare and Medicaid Services Records of the Centers for Medicare and Medicaid Services Major Subdivsion Center for Consumer Information and Insurance Oversight Patient Protection and Affordable Care Act- Private Health Insurance Systems Background Information The Private Health Insurance Systems support the implementation of the Patient Protection and Affordable Care Act. The Center for Consumer Information and Insurance Oversight (CCIIO) is charged with implementing many provisions of the Affordable Care Act, the historic health reform bill that was signed into law March 23, CCIIO oversees the i~plementation of the provisions related to private health insurance. Item Count Number of Total Disposition Number of Permanent Number of Number of Withdrawn Items Disposition Items Disposition Items Disposition Items Electronic Records Archives Page 1 of 12 PDF Created on: 07/18/2012.

2 L NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Dispos1t1on Authonty Records Schedule DAA Outline of Records Schedule Items for DAA Sequence Number Health Insurance Oversight System (HIOS) : DAA Health Insurance Assistance Database (HIAD) : DAA Multidimensional Insurance Data Analytic System (MIDAS) : DAA Pre-Existing Condition Insurance Plan (PCIP) 4.1 Master Files : DAA Outputs (Statistical Reports) : DAA Rate and Benefit System (RBIS) : DAA Collaborative Application Lifecycle Tool (CAL T) : DAA Early Retiree Reinsurance Program (ERRP) : DAA Health Care Insurance Exchange IT Investment (HIX) : DAA Case Management/ERDE System : DAA Electronic Records Archives Page 2 of 12 PDF Created on 07/18/2012

3 ~... _,..\ \_ -- NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule- DAA Records Schedule Items Sequence Number Health Insurance Oversight System (HIOS) DAA Master Files - Product-level information from health insurance issuers across states and US territories for display on consumer websites, such as Healthcare.gov; oversight data in key financial areas, including annual limits waivers, rate review, medical loss ra~io (MLR), and grants. HIOS provides caseworkers and State agencies which are recipients of the Consumer Assistance Program (CAP) grant, with a CAP tool to document and address consumer issues related to health insurance. HIOS also provides reporting capabilities on data captured in the system. Is this 1tem media neutral? by this item currently ex1st in electronic format(s) other than and word processing? by this 1tem exist as structured Transfer to Inactive Storage Cut off at the end of the.year in which record was created. NOTE: When fraud or overutilization of services is involved, the recordkeeping copy shall be retained until the resolution of the investigation plus 3 months or revert to normal disposition, whichever is longer. Transfer to inactive storage at the end of the year in which record was created. Destroy 7 year(s) after cutoff 2 Health Insurance Assistance Database (HIAD) DAA Electromc Records Archives Page 3 of 12 PDF Created on. 07/18/2012

4 Records Schedule. DAA Master Files - Cases files created from telephone calls received by CMS that address consumer issues related to health insurance, for states not covered by the Consumer Assistance Program (CAP) grant (see HIOS). CAP tool is used to create data is captured in HIAD. Is this 1tem media neutral? by this item currently ex1st in electronic format(s) other thane- mail and word processing? electromc data? Cut off at the end of each calendar year. Destroy 3 year(s) after cutoff 3 Multidimensional Insurance Data Analytic System (MIDAS) DAA Files - Central and historical collection of data from all Affordable Care Act system sed for reporting, analysis, trending, and measurement of the Affordable Care Act p Withdrawn Is this 1tem media neutral? by this 1tem currently exist in electronic format(s) other thane- mail and word processing? by this item ex1st as structured Withdrawn Status Explanation System has not been in op tion long enough to give NARA the information ne d for appraisal (what outputs are created, etc); it resubmitted as a separate schedule o Electronic Records Archives Page 4 of 12

5 Request for Records Disposition Authority Records Schedule DAA information is recieved from the Agency, especially since system may have permanent value. Retent1on Period 4 Pre-Existing Condition Insurance Plan (PCIP) The purpose of this system of record is to collect and maintain information on individuals who apply for enrollment in the program. This information will enable HHS acting through NFC, OPM, and any third-party administrator(s) to determine applicants' eligibility, enroll eligible individuals into the program, adjudicate appeals of eligibility and coverage determinations, bill and collect premium payments, and process and pay claims for covered health care items and services furnished to eligible individuals. The PCIP program began accepting applications for enrollment July 2010 and will end in December Beginning January 2014, all enrollees will be transitioned over to a health insurance exchange program. 4.1 Master Files Disposition Authonty Number DAA Information on individuals who apply for enrollment in the program. This information will enable HHS acting through NFC, OPM, and any third-party administrator(s) to determine applicants' eligibility, enroll eligible individuals into the program, adjudicate appeals of eligibility and coverage determinations, bill and collect premium payments, and process and pay claims for covered health care items and services furnished to eligible individuals. Is this item med1a neutral? by this item currently exist in electronic format(s) other than and word processmg? Permanent Cut off at the end of the program (currently January 2014). Electronic Records Archives Page 5 of 12 PDF Created on 07/18/2012

6 Records Schedule: DAA Transfer Electronic Records to the National Archives for Pre Accessioning Transfer to the National Archives for Accessioning Transfer electronic records to the National Archives for pre-accessioning immediately after cutoff. Transfer to the National Archives 15 year(s) after cutoff. First year of records accumulation 2010 End year of records accumulation 2014 What will be the date span of the From 2010 To 2014 initial transfer of records to the National Arch1ves? How frequently will your agency transfer these records to the National Archives? Unknown This is a temporary program; there will only be a one time transfer. 4.2 Outputs (Statistical Reports) DAA Statistical Reports, including state-by-state enrollment data & quarterly expenditure data. Final D1spos1tion Is this 1tem media neutral? by this item currently exist rn electronic format(s) other thane- mail and word processing? Permanent No Transfer Electronic Records to the National Archives for Pre Accessioning Transfer to the National Archives for Accessioning Cut off at the end of the program (currently January 2014). Transfer electronic records to the National Archives for pre-accessioning immediately after cutoff. Transfer to the National Archives 15 year(s) after cutoff. Electronic Records Archives Page 6 of 12 PDF Created on 07/18/2012

7 Records Schedule: DAA First year of records accumulation 2010 End year of records accumulation 2014 What w1ll be the date span of the From 2010 To 2014 initial transfer of records to the National Archives? How frequently Will your agency transfer these records to the National Archives? Unknown This is a temporary program; there will be a one time transfer. 5 Rate and Benefit System (RBIS) DAA Master Files - Data submissions from health insurance issuers in the individual and small group markets regarding benefit and cost sharing information on their products and plans. RBIS is comprised of a collection portal, databases, a rules engine, and a set of web services supporting HealthCare.gov "Plan Finder." Fmal D1spos1t1on Is _this item media neutral? by this item currently ex1st in electronic format(s) other thane- mail and word processing? Cut off annually. Destroy 7 year(s) after cutoff 6 Collaborative Application Lifecycle Tool (CAL T} Disposition Authonty Number DAA Master Files - Repository for all documentation artifacts related to the state and Federal health insurance exchange implementation life cycle. Within each stage Electronic Records Archives Page 7 of 12 PDF Created on 07/18/2012

8 Records Schedule DAA of the methodology artifacts are collected and reviewed collaboratively using the GALT system. Is this item media neutral? by th1s item currently exist in electronic format(s) other thane- mail and word processing? ' Cut off annually. Destroy 7 year(s) after cutoff 7 Early Retiree Reinsurance Program (ERRP) DAA Master Files - Facilitates the tracking and completion of all work activities, including the review and processing of application packages, processing of payment requests to determine the appropriate subsidy amounts, initiating electronic payments and remittances; and tracking all correspondence with the Plan Sponsors and other stakeholders. The ERRP Secure Web Site allows Plan Sponsors the ability to register and submit payment requests via the Internet in a secure manner. Is this item media neutral? by this item currently exist In electronic format(s) other than and word processing? by th1s item ex1st as structured Electronic Records Archives Page 8 of 12 PDF Created on 07/18/2012

9 Request for Records Dispos1tion Authority Records Schedule. DAA Cut off at the end of the year in which payment/final action occurred. Destroy 7 year(s) after cutoff 8 Health Care Insurance Exchange IT Investment (HIX) DAA Master Files - HIX IT activities are organized around two key systems the Exchanges and Data Services Hub. Exchange Systems support the core business unctions of an Exchange including administration, health plan management, ibility and enrollment, risk adjustment, premium tax credit administration, pro am integrity, and portal for customers. The Data Services Hub acts as a brok of information and will facilitate accessing and management of complex from a variety of sources, including multiple Federal agencies, with exchange and Medicaid systems. The IT investment also includes activities aimed at co dinating integration with state exchanges. Do any of the records cover by this item currently ex1st 1n electronic format(s) other than and word processmg? Withdrawn Status Explanation Withdrawn has not been fully implemented, and is unique. e CMS Records Officer and CMS Appraisal Ar ivist at NARA agreed that this item should be with wn to allow for additional research, and to not hold u the rest of the schedule. Destroy 7 year(s) after cuto lendar year. 9 Case Management!ERDE System Electromc Records Archives Page 9 of 12 PDF Created on. 07/18/2012

10 Records Schedule: DAA DAA Master Files - Provides functionality that will allow program offices to track cases and interactions with external stakeholders, citizens, and insurance providers in a secure, hosted environment. ERDE will provide the capability to collect, evaluate, and manage insurance plan information and display it in a format that meets regulatory requirements and consumer expectations. Is this item media neutral? by this item currently ex1sl in electronic format(s) other than and word processing? Cut off annually. Destroy 7 year(s) after cutoff. Electromc Records Archives Page 10 of 12 PDF Created on. 07/18/2012

11 Records Schedule DAA Agency Certification I hereby certify that I am authorized to act for this agency in matters pertaining to the disposition of its records and that the records proposed for disposal in this schedule are not now needed for the business of the agency or will not be needed after the retention periods specified. Signatory Information Date Action By Title Organization 03/19/2012 Certify Victoria Robey Records Officer 07/09/2012 Submit for Concur renee Sean Curry 07/10/2012 Concur Margaret Hawkins 07/11/2012 Concur Laurence Brewer Senior Records Ana lyst Director of Records Management Servic es Director, National R ecords Management Program 07/17/2012 Approve David Ferriero Archivist of the Unite d States Office of Strategic Operations and Regulatory Affairs Issuances and Records Management Group National Archives and Records Administration - Agency Services National Records Management Program - Records Management Services National Archives and Records Administration - National Records Management Program Office of the Archivist Office of the Archivist ' Electronic Records Arch1ves Page 11 of 12 PDF Created on 07/18/2012